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solicitor questionnaire

Thank you for taking the time to complete this brief survey, we look forward to working with you!

personal info

briefly describe your occupation

describe your intended method(s) of client solicitation

describe your intended method(s) of client solicitation

Have you or your entity ever been subject to disciplinary action or investigation by a regulatory agency (SEC, FINRA, state regulator, etc.)? If yes, provide details:

Have you or your entity ever been the subject of legal actions involving financial or ethical misconduct? If yes, please explain:

Do you have any existing relationships or affiliations that might create a conflict of interest in your role as a solicitor for Core Planning? If yes, please describe:

By signing below, I attest that the above information is accurate and complete. I understand that false statements or omissions may disqualify me from serving as a solicitor for Core Planning.

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